Compilation of Releases Dealing with Matters Frequently Arising Under the Securities Act of 1933U.S. Government Printing Office, 1970 - 102 páginas |
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Página 1
... circumstances in each case . 2. Is a grant of " express authorization of law " to a state governmental authority to ap- prove the fairness of the terms and conditions . of the issuance and exchange of securities nec- essary for an ...
... circumstances in each case . 2. Is a grant of " express authorization of law " to a state governmental authority to ap- prove the fairness of the terms and conditions . of the issuance and exchange of securities nec- essary for an ...
Página 3
... circumstances such securities would cease to be exempt . The General Counsel's opinion indicating the inapplicability of section 3 ( a ) ( 9 ) to other than bona fide exchanges of securities , which was given in answer to a query ...
... circumstances such securities would cease to be exempt . The General Counsel's opinion indicating the inapplicability of section 3 ( a ) ( 9 ) to other than bona fide exchanges of securities , which was given in answer to a query ...
Página 9
... circumstances as to constitute a public offering of securities , such warrants should be registered under the same circumstances as transferable warrants . In any event , the stock called for by non - transferable warrants should be ...
... circumstances as to constitute a public offering of securities , such warrants should be registered under the same circumstances as transferable warrants . In any event , the stock called for by non - transferable warrants should be ...
Página 12
... circumstances indicat- ing that his principal is an underwriter or engaged in a distribution of securities . For the purposes of this rule , the term " distribution " is defined as not applying to transactions which involve amounts not ...
... circumstances indicat- ing that his principal is an underwriter or engaged in a distribution of securities . For the purposes of this rule , the term " distribution " is defined as not applying to transactions which involve amounts not ...
Página 17
... circumstances of this case no exemption under section 4 ( 1 ) 2 of the Securities Act was available and that these transactions involved a public offering and sale of the debentures and stock in violation of the registration and pros ...
... circumstances of this case no exemption under section 4 ( 1 ) 2 of the Securities Act was available and that these transactions involved a public offering and sale of the debentures and stock in violation of the registration and pros ...
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Términos y frases comunes
acquired advertisements amended Aug amount applicable appropriate basis behalf beneficial ownership broker-dealer circumstances clause of section common stock connection control person convertible security copies Corporation counsel court Crowell-Collier curities debentures deemed disclosure distribution earnings per share effective date Exchange Commission exemption under section fact filed financial statements firms foreign Form S-1 fund income statement interest Investment Company Act investment contract investors involved issuance issuer Item lease liabilities mails ment open-end investment opinion options period prior proposed rule public offering Public Utility Act purchase pursuant question Ralston Purina real estate regis registration and prospectus registration requirements registration statement requirements of section respect rities S.D. Cal section 3(a secu Securities Act Release Securities and Exchange Securities Exchange Act security holders shareholders shares sold solicitation spectus staff statutory stockholders substantial trading transactions tration underlying security underwriters United whisky
Pasajes populares
Página 4 - As used in this paragraph the term "issuer" shall include, in addition to an issuer, any person directly or indirectly controlling or controlled by the issuer, or any person under direct or indirect common control with the issuer.
Página 100 - The test is whether the scheme involves an investment of money in a common enterprise with profits to come solely from the efforts of others.
Página 31 - A member, in the conduct of his business, shall observe high standards of commercial honor and just and equitable principles of trade.
Página 95 - An Act to provide full and fair disclosure of the character of securities sold in interstate and foreign commerce and through the mails, and to prevent frauds in the sale thereof, and for other purposes...
Página 8 - ... in exchange for one or more bona fide outstanding securities, claims or property interests, or partly in such exchange and partly for cash...
Página 99 - Securities and Exchange Commission pursuant to section 13 or 15 (d) of the Securities Exchange Act of 1934...
Página 54 - Is available, and must comply with the anti-fraud provisions of the Securities Act and the Securities Exchange Act and the regulations thereunder.
Página 19 - Any person who— (1) offers or sells a security in violation of section 5, or (2) offers or sells a security (whether or not exempted by the provisions of section 3, other than paragraph (2) of subsection (a) thereof), by the use of any means or instruments of transportation or communication in interstate commerce or of the mails...
Página 59 - sell" includes every contract of sale of, contract to sell, or disposition of, a security or interest in a security for value; (2) "Offer" or "offer to sell" includes every attempt or offer to dispose of, or solicitation of an offer to buy, a security or interest in a security for value...
Página 13 - ... the largest aggregate reported volume of trading on securities exchanges during any one week within the four calendar weeks preceding the receipt of such order. (e) For the purposes of paragraph (d) of this section : (1) The term "brokers